DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Former SEC-registered adviser

D•••• S•••• A•••••••

Former SEC-registered adviserSouth Miami, FloridaCRD 153108SEC 801-112898IAPD
Legal name D•••• N• S•••• • A••••••••• I•••
Latest filing Jun 5, 2020
First filing on the tape Mar 21, 2018 · 6 filings
RAUM
$133M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$133M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$133M as of Feb 24, 2020
Feb 20, 2019$109M then
HNW client RAUM$117M as of Feb 24, 2020
Feb 20, 2019$92.5M then
State-registered IARs (5.B.3)2 as of Feb 24, 2020
Feb 20, 20192 then
Employees (5.A)5 as of Feb 24, 2020
Feb 20, 20194 then
Private funds: no history
RAUM +21% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Jun 5, 2020; every figure names its basis
RAUM per advisor
$66.3MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
60derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$5.9MderivedHNW RAUM over HNW clients
Average account
$422,261derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.5derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+21%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+17%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, selection of other advisersreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$117M88%
  • Individuals$15.5M12%
  • Corporations and businesses$1,0000.0%
Individual clients
100reported
HNW clients
20reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
314reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • S••••• D••••• N••• · President And Chief Compliance Officercontrol
    since 07/2007 · owns 75% or more
Related persons
Schedule D 7.A
  • F•••••••• W••••• S••••••••• I•••
    real estaten
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 264 to 314
    Sep 20, 2019 to Feb 24, 2020
  • HNW clients · 17 to 20
    Sep 20, 2019 to Feb 24, 2020
  • Individual clients · 86 to 100
    Sep 20, 2019 to Feb 24, 2020
  • Employees · 4 to 5
    Sep 20, 2019 to Feb 24, 2020
  • Discretionary RAUM · $109M to $133M
    Sep 20, 2019 to Feb 24, 2020
  • HNW RAUM · $92.5M to $117M
    Sep 20, 2019 to Feb 24, 2020
  • Individual RAUM · $16.8M to $15.5M
    Sep 20, 2019 to Feb 24, 2020
  • Pension RAUM · 173000.0 to unset
    Sep 20, 2019 to Feb 24, 2020
  • RAUM · $109M to $133M
    Sep 20, 2019 to Feb 24, 2020
  • Accounts · 261 to 264
    Apr 16, 2018 to Feb 20, 2019
  • HNW clients · 27 to 17
    Apr 16, 2018 to Feb 20, 2019
  • Individual clients · 76 to 86
    Apr 16, 2018 to Feb 20, 2019
  • Pension plan clients · 1.0 to unset
    Apr 16, 2018 to Feb 20, 2019
  • Discretionary RAUM · $115M to $109M
    Apr 16, 2018 to Feb 20, 2019
  • HNW RAUM · $99.5M to $92.5M
    Apr 16, 2018 to Feb 20, 2019
  • Individual RAUM · $15.1M to $16.8M
    Apr 16, 2018 to Feb 20, 2019
  • Pension RAUM · $100,000 to $173,000
    Apr 16, 2018 to Feb 20, 2019
  • RAUM · $115M to $109M
    Apr 16, 2018 to Feb 20, 2019
Signals
1 dated events
  • D•••• S•••• A••••••• filed its initial SEC registration (Form ADV)
    Mar 21, 2018 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
Provenance
Form ADV
SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
Advisors
IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
Class
Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
RAUM per advisor
n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026